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Weekly Reports

Updates for the week ending February 5, 2010

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Policies and Instruments

  • BC Notice 2010/07 - Transition Disclosure

    The notice discusses our experience with International Financial Reporting Standards transition disclosure. BCN 2010/07 references a significantly more detailed Ontario Securities Commission notice on the same topic; the findings in that notice are consistent with our experience.

  • CSA Staff Notice 31-314 - NI 31-103 Registration Requirements and Exemptions and Related Instruments Frequently Asked Questions as of February 5, 2010

    National Instrument 31-103 came into force on September 28, 2009.  The instrument and related amendments harmonize, streamline and modernize registration requirements across Canada for firms and individuals who sell securities, offer investment advice or manage investment funds.  This notice supplements CSA Staff Notice 31-313, and also answers common questions and helps those working with these instruments to understand and comply with them.  The questions addressed in this notice relate specifically to financial reporting requirements during the first year under the new registration regime.

News and Events

  • News release 2010/05 - Canadian Securities Regulators 2009 Enforcement Report Outlines Efforts to Protect Canadian Investors and Markets
  • News release 2010/06 - BCSC Executive Director’s Bulletin: Securities regulator gives notice of hearing to extend temporary order issued against CEO of West Vancouver company
  • News release 2010/07 - BCSC panels reciprocate ASC, NBSC, and OSC enforcement orders
  • News release 2010/08 - BCSC panel permanently bans man convicted of contravening U.S. securities laws

Decisions, Settlements, Hearings, and Temporary Orders

 (Enforcement)

Cease Trade Orders and Revocations

 (Failure to File)

Exemption Orders

  • No new documents